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Roles, Principles, and Ecosystem Version 1.0
Working Draft 01
25 November 2015
Technical Committee:OASIS Classification of Everyday Living (COEL) TC
Additional artifacts:There are no additional artefacts to this prose specification.
Related work: Minimal Management Interface Version 1.0 (http://docs.oasis-open.org/coel/MMI/v1.0/MMI-
v1.0.docx). Classification of Everyday Living Version 1.0 (http://docs.oasis-open.org/coel/BAP/v1.0/BAP-
v1.0.docx). Identity Authority Interface Version 1.0 (http://docs.oasis-open.org/coel/IDA/v1.0/IDA-
v1.0.docx). Public Query Interface Version 1.0 (http://docs.oasis-open.org/coel/PQI/v1.0/PQI-v1.0.docx). Behavioural Atom Protocol Version 1.0 (http://docs.oasis-open.org/coel/BAP/v1.0/BAP-
v1.0.docx).Abstract:
This document defines and describes roles of the various actors and principles of a COEL ecosystem, within the framework of the COEL Model.
Status:This Working Draft (WD) has been produced by one or more TC Members; it has not yet been voted on by the TC or approved as a Committee Draft (Committee Specification Draft or a Committee Note Draft). The OASIS document Approval Process begins officially with a TC vote to approve a WD as a Committee Draft. A TC may approve a Working Draft, revise it, and re-approve it any number of times as a Committee Draft.
URI patterns:Initial publication URI:http://docs.oasis-open.org/coel/RPE/v1.0/csd01/RPE-v1.0-csd01.docxPermanent “Latest version” URI:http://docs.oasis-open.org/coel/RPE/v1.0/RPE-v1.0.docx(Managed by OASIS TC Administration; please don’t modify.)
Committee (in which case the rules applicable to copyrights, as set forth in the OASIS IPR Policy, must be followed) or as required to translate it into languages other than English.The limited permissions granted above are perpetual and will not be revoked by OASIS or its successors or assigns.This document and the information contained herein is provided on an "AS IS" basis and OASIS DISCLAIMS ALL WARRANTIES, EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO ANY WARRANTY THAT THE USE OF THE INFORMATION HEREIN WILL NOT INFRINGE ANY OWNERSHIP RIGHTS OR ANY IMPLIED WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE.
Table of Contents1 Introduction......................................................................................................................................... 5
2 Roles................................................................................................................................................... 62.1 Summary of Roles............................................................................................................................. 62.2 Identity Authority................................................................................................................................ 72.3 Data Engine....................................................................................................................................... 82.4 Service Provider.............................................................................................................................. 102.5 Operator.......................................................................................................................................... 122.6 Consumer........................................................................................................................................ 13
3 Normative principles of the Operation of COEL ecosystem..............................................................143.1 Data Separation Principle (P1)........................................................................................................143.2 Data Atomisation Principle (P2).......................................................................................................143.3 Atomised Consent Principle (P3).....................................................................................................143.4 Separation of Competence Principle (P4).......................................................................................143.5 No Conflict of Interest Principle (P5)................................................................................................143.6 Active Support Principle (P6)...........................................................................................................153.7 Transparency Principle (P7)............................................................................................................15
4 Ecosystem........................................................................................................................................ 164.1 General diagram of key relationships between actors.....................................................................164.2 Data Flows...................................................................................................................................... 174.3 Security Considerations...................................................................................................................18
4.3.1 General technical principles:....................................................................................................184.3.1.1 Internet................................................................................................................................................184.3.1.2 Authentication.....................................................................................................................................184.3.1.3 Pseudonymous Keys..........................................................................................................................184.3.1.4 Userids and passwords.......................................................................................................................18
4.3.2 Ecosystem security diagram and analysis................................................................................195 Glossary and Nomenclature..............................................................................................................21
Appendix A. Acknowledgments................................................................................................................. 24Appendix B. Revision History.................................................................................................................... 25
This document describes in detail the comprehensive set of ACTORS that take part in a COEL compliant ecosystem. For each of the ACTORS a description of their possible activities is given, all referenced to a set of seven normative principles. A number of specific, but jurisdiction agnostic, definitions are given to support the role descriptions and principles.
1.1 TerminologyThe key words “MUST”, “MUST NOT”, “REQUIRED”, “SHALL”, “SHALL NOT”, “SHOULD”, “SHOULD NOT”, “RECOMMENDED”, “MAY”, and “OPTIONAL” in this document are to be interpreted as described in [RFC2119].
1.2 Normative References[RFC2119] Bradner, S., “Key words for use in RFCs to Indicate Requirement Levels”, BCP
14, RFC 2119, March 1997. http://www.ietf.org/rfc/rfc2119.txt.[RFC5246] Dierks, T., Rescorla, E., “The Transport Layer Security (TLS) Protocol
Version 1.2” RFC 5246, August 2008 http://www.ietf.org/rfc/rfc5246.txt .[COEL_COEL-1.0] Classification of Everyday Living Version 1.0. Latest version: http://docs.oasis-
open.org/coel/COEL/v1.0/COEL-v1.0.docx
1.3 Non-Normative References[Data to Life] Reed, M. & Langford, J. (2013). Data to Life. Coelition, London. ISBN 978-
The Identity Authority (IDA) oversees the effective, open running of the eco-system and administers the operation of the IDA service. The IDA service issues and checks unique Pseudonymous Keys that provide security and ensure the interoperability and universality of the ecosystem.
Data Engines receive, store and process Behavioural Atoms. Data Engines provide business-to-business services to Service Providers and other organisations in the form of queries that create Report Data.
Service Providers are the primary link between a Consumer and a Data Engine. They are able to query the atoms held by a Data Engine to develop personalised services for Consumers based on their everyday behaviours. Service Providers will often be consumer facing brands.
An Associated Service Provider is a Service Provider that gains access to data collected by another service provider to provide a service to a Consumer. To do so, the Consumer MUST give consent to the Associated Service Provider to access the data collected by the original Service Provider. An Associated Service Provider has no right to grant a third-party any access to the data held by the original Service Provider. All of the technical requirements on a Service Provider that are defined in section 2.4 of this specification apply equally to an Associated Service Provider.
Operators administer contact with the Consumer and hold the directly-identifying personal information (DIPI) needed to engage with the Consumer. An Operator might be an independent app, exist within a Service Provider or be an independent organisation. Operators only receive information from their Consumers and their Service Provider.
The Consumer is the generic reference to any individual registered with the eco-system. They might be patients in a healthcare setting, subjects in a trial as well as consumers of a commercial digital service. A Consumer’s primary relationship might be with a Service Provider via a near-invisible Operator or with clearly recognisable Operator that is supported by a Service Provider in the background.
Hardware Developers are developers of hardware (such as Internet of Things devices) which are compliant with COEL protocols for use by Service Providers and Operators.
2.3 Data EngineTechnical requirement Guiding principles & notes
SHALL Provide secure storage of Behavioural Atoms for a period to be agreed with the Service Provider in line with the Consumer consent
P2 & P3
Provide minimal interface services for Service Providers to process joiners, movers, and leavers (e.g. Operator & Consumer trees, registration, ID re-allocation, forgetting)
P4
Provide minimal interface services for querying Behavioural Atoms by registered Service Providers
P1
Maintain an always-on, single entry point for uploading Behavioural Atoms to the Data Engine
P4
Receive Behavioural Atoms from Consumers or Devices registered with their Operators that conform to the specification free of charge
Receiving data is a minimal requirement for a Data Engine; commercial services apply to the use and processing of data.
Provide information to the Service Provider about the location and security of the infrastructure used in the delivery of services
P7
SHALL NOT
Link Behavioural Atom data to directly-identifying personal information (DIPI) from external sources
P1
Link Behavioural Atom data directly to external data storage if such link might directly identify Consumers
P1
Hold any Consumer’s directly identifying personal information (DIPI)
P1
Act as a Service Provider or Operator itself
P1 & P4
Request more than the Segment Data as defined in the specification (gender, year of birth, time zone & latitude to 0 decimal points) on registration of a Consumer
P1
Knowingly receive DIPI P1Levy unreasonably punitive charges for the complete download of stored Behavioural Atoms
Supports EU data protection and an open, competitive eco-system.
Utilise IDA unique Pseudonymous Keys outside of the ecosystem
P1
MAY Add non-personal data to the atom store to deliver enhanced services (e.g.
3 Normative principles of the Operation of COEL ecosystem
3.1 Data Separation Principle (P1)The specification implements a separation of data types: Data Engines keep data on what Consumers do (Behavioural Atoms) and the Service Provider/Operator keeps data on who Consumers are (DIPI). No single organisation holds both sets of data together. This means that it would need a double accidental or malicious disclosure for connected information to be released.
3.2 Data Atomisation Principle (P2)Data is deliberately broken down into small chunks of information by the Operator and coded with the Consumer’s ConsumerID (which implies their atomised consent), thus each separate Behavioural Atom has a very low privacy risk. Neither the Operator/Service Provider sees these atoms as raw atoms and can only see composite data from Data Engine under the terms of the specification.
3.3 Atomised Consent Principle (P3)Consumer gives informed consent to the Operator under guideline terms set by the specification. Consent allows the Operator to sign up the consumer with a ConsumerID. This ConsumerID is the indicator to Identity Authority and other eco-system actors that the consumer has given appropriate consent. Because each and every Behavioural Atom has the ConsumerID, each atom has that consumer’s consent written into the structure of the data. Removing the ConsumerID from a Behavioural Atom is removing the consent of that individual so the data can no longer be used by either the Operator or Service Provider who signed them up. The time stamp uniquely associated with each Behavioural Atom allows full auditing of this principle.
3.4 Separation of Competence Principle (P4)Data Engines are expert data handlers. They know how to run robust, secure and always on cloud based data services; they handle Behavioural Atoms NOT Consumers. Service Providers / Operators are experts at Consumer facing / relevant services and handling DIPI; they handle Consumers NOT Behavioural Atoms. The Identity Authority is expert at overseeing the ecosystem.
3.5 No Conflict of Interest Principle (P5)Consumers need to see that there are no conflicts around their data. To ensure this, the Identity Authority acts on behalf of the Consumer in partnership with Operator/Service Provider, Data Engine and regulators.
3.6 Active Support Principle (P6)All actors will actively promote the principles of the specification, safeguard the structure of the eco-system and support good data practice for both consumers and enterprise.
3.7 Transparency Principle (P7)The roles and identities of all the actors in the eco-system who are working together on behalf of a Consumer will be clear and visible to that Consumer.
The IDA issues a unique Pseudonymous Key to the Operator when the Consumer joins the ecosystem. Once this has been registered with the Data Engine it becomes the ConsumerID and replaces the DIPI in all transactions other than those between the Operator and Consumer.In normal operation the Behavioural Data will stay with the Data Engine unless the Service Provider needs to provide non-standard services or the Consumer makes a specific data request.The illustration shows the Segment Data delivered through the Service Provider, this is accurate when the data is recalled but the Operator sends this directly to the Data Engine when the Consumer is first registered.
4.3.1.1 InternetSSL/TLS [RFC5246] SHALL be used for all internet communications within the ecosystem. This creates an encrypted channel for the data (Behavioural Atoms, Report data and Pseudonymous Keys – no DIPI) and prevents a third party from reading it in transit. It means that servers like the IDA, Data Engine and any Service Provider/ or Operator systems MUST have SSL/TLS certificates.
4.3.1.2 AuthenticationSingle factor authentication (userid and password) SHALL be used for all Data Engine and IDA calls with the exception of: [a] submitting atoms which can be done anonymously [b] an Operator registering consumers with the DE.
4.3.1.3 Pseudonymous Keys IDA generated Pseudonymous Keys SHALL be used as the userids for actors in the ecosystem. These are devoid of DIPI and unique across the ecosystem.
4.3.1.4 Userids and passwordsDifferent userids and different passwords MAY be used for each embodiment (e.g. for Operator with IDA, Operator with Data Engine, Service Provider with different Data Engines). These SHALL be stored in an encrypted format.
With reference to above diagram, the following is a summary of the specific requirements for the use or otherwise of secure communication:
1. Operator / IDA: The IDA SHALL require single factor authentication with userid and password for an Operator to access the IDA API.
2. Service Provider / IDA: The Service Provider does not have a role in the IDA API. The IDA MAY provide a mechanism to allow a Service Provider to register new Operators and this mechanism MUST be protected through single factor authentication, at least, with userid and password. The IDA SHALL NOT keep any DIPI for Operators.
3. Operator / Data Engine: The Data Engine SHALL NOT require a password from an Operator when registering a new Consumer or when registering a new Device for a Consumer. The Data Engine SHALL require a password from an Operator when removing a Device from a Consumer.
a. The Data Engine SHALL require single factor authentication with userid and password for a Service Provider to access the Management Interface (MI) and Query Interface (QI)
b. Separate credentials SHOULD be used to access the Management Interface (MI) and Query Interface (QI), reducing the likelihood of getting access to both and retrieving Atoms for all of the Service Provider’s Consumers.
c. The data engine MUST use a secondary method to assert the identity of the Service Provider prior to processing a ‘forget’ request for a Consumer since these requests are not reversible.
5. Operator / Service Provider: Where the Operator is a separate entity, it will request reports on Consumers from the Service Provider, but these reports are pseudonymised and contain no DIPI. Where the Operator is a separate entity their communication MUST use single factor authentication with userid and password.
6. Data Engine / IDA: The IDA SHALL require single factor authentication with userid and password for a Data Engine to access the IDA API.
5 Glossary and NomenclatureFor the purposes of this specification and the COEL ecosystem the following are defined.
5.1 Behavioural Atom The fundamental data type defined and used extensively throughout the COEL ecosystem is Behavioural Atom (Atom). An Atom is a digital representation of an observable event in an individual’s life. It is a small block of self-describing, micro-structured data. Any type of life event can be coded into a Behavioural Atom using the Classification of Everyday Living, a hierarchical taxonomy of decreasing granularity. The individual’s identity is pseudonymised with the directly identifying personal information (DIPI) segregated from the Behavioural Atoms in both storage and transmission. The Behavioural Atoms also code the time and duration of events, how they were observed and where they occurred. The Atom types are described by the Classification of Everyday Living Version 1.0, one of this collection’s specifications.
5.2 EcosystemThe Ecosystem is defined as ‘the extended set of corporate and individual actors who interact for their mutual benefit via the medium of the specification and under appropriate voluntarily entered into legal agreements’.
5.3 Pseudonymous KeyThe unique Pseudonymous Keys are generated by the IDA for use with the ecosystem to provide unique codes for the data and transaction of Consumers, Devices, Operators and Service Providers.
5.4 Directly Identifying Personal Information (DIPI)Static or slow-changing data needed to provide services to a Consumer including, for example: name, date of birth, contact information, medical/insurance numbers, payment details, etc. DIPI specifically excludes all event-based information (Behavioural Data / Atoms). DIPI is information that would be generally known as PII in a USA context.
5.5 Segment DataYear of birth, gender, home time zone (GMT+/-x) and home latitude to single degree resolution.
5.6 Behavioural DataData that is coded according to the COEL TC protocols with, as a minimum, a Classification of Everyday Living code, a unique ConsumerID and a timestamp. A single instance is known as a Behavioural Atom or Atom.
5.7 Report DataData developed from the analysis of Behavioural Data (Atoms) for the purposes of developing insight and information for the provision of value-add services.
5.8 Aggregated and anonymised summary dataData developed from the analysis of Behavioural Data (Atoms) for the purposes of comparison with Report Data and to deliver business to business services outside a COEL ecosystem.
5.9 ConsumerID An IDA unique Pseudonymous Key for a particular Consumer.
5.10 ServiceProviderIDAn IDA unique Pseudonymous Key for a particular Service Provider.
5.11 OperatorIDAn IDA unique Pseudonymous Key for a particular Operator.
5.12 DeviceIDAn IDA unique Pseudonymous Key for a particular consumer device.
Appendix A. AcknowledgmentsThe following individuals have participated in the creation of this specification and are gratefully acknowledged:Participants:!!br0ken!!
Paul Bruton, Individual MemberJoss Langford, ActivinsightsMatthew Reed, CoelitionDavid Snelling, Fujitsu